Citations in the U.S. Supreme Court: An Empirical Study of their Use and Significance

Transcription

1 Citations in the U.S. Supreme Court: An Empirical Study of their Use and Significance Frank B. Cross * James F. Spriggs II ** Timothy R. Johnson *** Paul J. Wahlbeck **** Supreme Court citations have seen little rigorous analysis, whether regarding their meaning or importance. This article presents an empirical examination of opinion citation practices since World War II, with a focus on the era from the Warren Court through the end of the Rehnquist Court. After theoretically analyzing the role of citations in judicial opinions and their significance, we explain how they may be used as a test of stare decisis and the Court's projection of power and legitimation of its authority. We measure both the raw number of citations in majority opinions and the significance of the cases cited (using a calculation of their network centrality at the time of the decision). Various factors significantly influence citation frequency and choice, including the type of case. After controlling for these factors, we consider the relative citation practices of the justices of the Court since the 1950s. The method allows us to find that political legitimation of decisions is a key determinant of citations but that legal factors also matter. We also explore the citation practices of individual justices. Our findings are consistent with the conventional wisdom in some instances but serve to dispel other common beliefs. For example, we find that Justices Black and Douglas showed relatively little devotion to precedents but the Warren Court more generally * Herbert D. Kelleher Centennial Professor of Business Law, McCombs School of Business, University of Texas at Austin; Professor of Law, University of Texas Law School; Professor of Government, University of Texas at Austin. ** Professor of Political Science, Washington University in St. Louis; Professor of Law (by courtesy), Washington University in St Louis Law School. *** Associate Professor of Political Science, University of Minnesota, Twin Cities. **** Professor of Political Science, The George Washington University. 1

2 was concerned about stare decisis. In the recent era, Justice Souter stands out for his citation practices. Why do justices cite cases in their opinions? Why do they choose particular citations to include in those opinions? 1 And what are the implications of those citation choices? The facile answer they mechanistically base their decisions entirely on the best applicable precedents cannot be sustained in its strongest version. Different justices clearly make different citation choices, and the cases emphasized by a dissenting opinion may be quite different than those relied upon in the majority opinion. No case is exactly identical to prior cases, conclusively governed by particular past opinions, and the Supreme Court selects the most difficult cases for resolution, so considerable discretion is necessary in evaluating the significance of prior precedents for its decisions. There are never truly binding, vertical precedents at the Supreme Court level, and the justices occasionally even overturn their prior precedents. Justices reach very different conclusions about the correct disposition of a particular case, even though the precedents they consider are identical, and they occasionally accuse one another of manipulating or ignoring important precedent. In this article, we provide an empirical analysis of the justices citation practices to assess why justices cite cases in their opinions, how they differ, and how those decisions matter for the practical development of the law. Citations function something like the currency of the legal system. An opinion s references to authoritative legal materials, most often the Court s own prior decisions, form the fundamental justification for a judicial decision. Of all citations, those to prior opinions are the 1 An early law review article observed that the reader of a judicial opinion seldom finds any clear indication of the reasons for citation of authorities in it. John H. Merryman, The Authority of Authority What the California Supreme Court Cited in 1950, 6 STAN. L. REV. 613, 614 (1954). The citations in opinions have great practical and theoretical importance, but our understanding of citation practice has not much advanced since this time. John H. Merryman, Toward a Theory of Citations: An Empirical Study of Citation Practice in the California Supreme Court in 1950, 1960, and 1970, 50 S. CAL. L. REV. 381, 381 (1977). Judge Posner has argued for increased empirical study of citations to improve our understanding of judicial decisions. See generally Richard A. Posner, An Economic Analysis of the Use of Citations in the Law, 2 AM. L. ECON. REV.381 (2000). Without such study, he argues, speculation is rampant and knowledge meager. Id. at

3 most common, demonstrating the Court s respect for stare decisis. 2 The doctrine of stare decisis is said to reflect the fundamental values of the legal process. 3 Alexander Hamilton declared that it was indispensable that [judges] should be bound down by strict rules and precedents in order to avoid an arbitrary discretion in the courts. 4 The Court has declared that [a]dherence to precedent, is, in the usual cases, a cardinal and guiding principle of adjudication. 5 In the plurality opinion declining to overrule Roe v. Wade, Justices O Connor, Kennedy and Souter declared that respect for precedent was the very concept of the rule of law. 6 The use and practical effect of citations has received little rigorous analysis, however. There is a longstanding and burgeoning pattern of empirical study of judicial decisions focusing on ideological decisionmaking practices, but the subject of legal citations has surprisingly seen very little empirical study. 7 Few of the existing studies address the interesting questions... whether and how much law matters as well, how ideology and law interact or affect each other, and how these interactions vary from case to case or from justice to justice. 8 Only a handful of studies attempt to systematically understand why the justices cite cases and the implications those citations have for the future development of law. 9 Yet this subject of study 2 See Glenn Phelps & John Gates, The Myth of Jurisprudence: Interpretive Theory in the Constitutional Opinions of Justices Rehnquist and Brennan 31 Santa Clara L. Rev. 567 (1991) (providing data showing that case citations are by far the most common source of authority invoked in opinions). 3 Jonathan R. Macey, The Internal and External Costs and Benefits of Stare Decisis, 65 CHI.- KENT L. REV. 93, 93 (1989) THE FEDERALIST No. 78, p. 471 (C. Rossiter ed. 1961). California v. Federal Regulatory Commission, 495 U.S. 490, 499 (1990). Planned Parenthood v. Casey, 505 U.S. 833, 854 (1992). 7 See Stefanie A. Lindquist & Frank B. Cross, Empirically Testing Dworkin s Chain Novel Theory: Studying the Path of Precedent, 80 N.Y.U. L. REV. 1156, 1157 (2005) (reporting that [p]erhaps the most important, yet understudied, area of legal research involves precedent ). 8 Carolyn Shapiro, Bringing Law to the Empirical Analysis of the Supreme Court (forthcoming in Hastings Law Journal). 9 For the most comprehensive empirical study of the Court s interpretation of precedent (i.e., a citation to a case that has potential legal effect on the cited case), see THOMAS HANSFORD AND JAMES F. SPRIGGS II THE POLITICS OF PRECEDENT (2006) (providing a theory for why the Court interprets 3

4 provides the most promising frontier for future empirical research into judicial decisionmaking and will provide new understandings of the development of law. We begin the article with a theoretical analysis of the meaning of citations. Researchers have developed a variety of theories for the Court s citation practice. These include the standard legal model that stare decisis determines judicial outcomes and a political model that citations are irrelevant and serve only as a mask for the justices political preferences. A more refined theory suggests that citations are not wholly determinative of outcomes but operate as an important influence and constraint on Court decisions, because of a need for protecting the Court s political legitimacy or simply concern for the principles of stare decisis. The second section of the article reviews the extant research on citations. This research is far more limited than studies of other aspects of judicial decisionmaking, and it has almost entirely omitted analysis of comparative judicial citation practice in opinions. However, the past research lends crucial support to our analysis. The prior empirical analyses have demonstrated that precedent does indeed exert some influence on Supreme Court decisions. Moreover, research has suggested that the justices choice of precedents to cite can have a significant impact on the course of the law, as reflected by later decisions. This research confirms the value of studying citation practice. The third section conducts our own empirical analysis of citation practice at the Court. We consider citation rates in Supreme Court opinions over time and other factors that may influence the number of citations in an opinion (such as type of case). Once we isolate these influences on citation counts, we explore whether the number of citations is associated with the need to legitimize decisions that may be entirely ideological in nature or whether other factors, including the law, influences the cases cited. In the fourth section, we examine the different citation practices of the justices of the Vinson, Warren, Burger, and Rehnquist Courts. Commentators have opined on the relative devotion of different justices to stare decisis, and our methods enable an empirical test of these opinions. We conduct a comparison of the citation practices of the different members of the Vinson, Warren, Burger, and Rehnquist Courts and obtain a rough list of the relative commitment to stare decisis for the justices of that time period. There are very substantial differences among the justices of this period. Our concluding section examines the significance of the citations in an opinion for the development of the law. We examine the association between the number and nature of citations in an opinion on the number of subsequent citations received by that opinion, at the Supreme Court and in lower courts. There is a statistically significant association between citation practice precedent and testing their theory on all the Court s treatments of precedent between the 1946 and 1999 Terms of the Court). 4

5 and the future impact of an opinion, though the nature of the citations is far more important for this effect than the simple number of citations in a majority opinion for the Court. I. The Meaning of Citations Citation to prior cases is not an inevitability. In France no precedent is ever quoted by the judgments of the Cour de Cassation. 10 Nor did the United States Supreme Court cite much precedent in the early decades of the nation. 11 Yet the practice of citing prior opinions as a basis for Supreme Court decisions is now the rule, and opinions typically cite a number of prior cases as precedents. This section explores the possible reasons for the practice. An opinion s citations are the operationalization of the practice of stare decisis. Justices place their holding in the existing body of the law by demonstrating that prior decisions directed their opinion. The precedents serving as citations may be viewed as the principal asset of a judicial system, and the higher their quality, the better the judicial system may be said to be. 12 In our common law tradition, stare decisis is apparently central to judicial decisionmaking. An appeal to precedent is the primary justification justices provide for the decisions they reach. 13 The authority of precedent is generally thought to be one of the most important institutional characteristics of judicial decision making. 14 A recent study, for example, shows that variation in the authority of precedent influences the way in which the Court chooses to legally treat those cases; even after controlling for the ideological position of the Court and other factors related to 10 Michelle Taruffo, Institutional Factors Influencing Precedents, in INTERPRETING PRECEDENTS: A COMPARATIVE STUDY (D. Neil MacCormick & Robert S. Summers eds. 1997), at 437, James H. Fowler et al., Network Analysis and the Law: Measuring the Legal Importance of Precedents at the U.S. Supreme Court, 15 POL. ANALYSIS 324, 325 (2007) (using network analysis to create measures of case centrality based on citation patterns in Supreme Court opinions and showing that early Court opinions cited relatively few precedents); 12 The Internal and External Costs and Benefits of Stare Decisis, supra note 000, at Jeffrey A. Segal & Harold J. Spaeth, The Influence of Stare Decisis on the Votes of United States Supreme Court Justices, 40 AM. J. POL. SCI. 971, 972 (1996). 14 Ernest A. Young, Judicial Activism and Conservative Politics, 73 U. COLO. L. REV. 1139, 1150 (2002). 5

6 the citation of precedent, this research find that the Court is more likely to follow a precedent if it has greater legal authority. 15 Greater reliance on precedent is also commonly associated with judicial restraint. 16 Yet even those researchers who have studied citations have expressed reservations about their meaningfulness. 17 Before embarking on our empirical analysis is it important to understand the theories of why citations may or may not have practical meaning. While citations are almost universally considered significant by legal academics, their practical meaning is still contested. This section considers three predominant theories of the meaning of citations: (i) that they are the basis for the Court s decision, as stare decisis dictates, (ii) that they are a mere mask for the true determinants of the decision, which is actually based on ideological or other non-legal reasons, and (iii) that they are essential to the Court s institutional legitimacy and provide some influence and constraint on decisions. The section concludes with a brief discussion of the implications of citation practice at the Court. Before moving on, let us briefly describe why, regardless to which of the below theories one subscribes, case citations are a meaningful attribute of Court opinions. The disagreement among the theories described below has to do with the causal force of precedent on Supreme Court Justices decisions. On the one hand, some put forward the view that the Justices are unconstrained by prior opinions, others suggest the law is determinative of Court outcomes, and still others contend that the Justices have considerable discretion but under certain conditions can be somewhat constrained by precedent. Scholars, however, do not necessarily disagree on the broader significance of the citation or treatment of prior Court opinions. Most scholars agree that law develops incrementally and that the exact nature of the legal rule established by a Supreme Court opinion can change over time 18 as the scope of a precedent is determined by decisions in subsequent cases. 19 Because of the analogical reasoning process employed by most justices, whereby they cite cases due to those case s legal relevance and authority, case citations provide important information about how law develops. Case citations thus represent a latent judgment by the justices regarding the 15 Hansford and Spriggs, supra note Thomas W. Merrill, Originalism, Stare Decisis and the Promotion of Judicial Restraint, 22 CONST. COMM. 271, 273 (2005) 17 David J. Walsh, On the Meaning and Pattern of Legal Citations: Evidence from State Wrongful Discharge Precedent Cases, 31 LAW & SOC Y REV. 337, 337 (1997) Hansford and Spriggs, supra note 000, at 5. RICHARD POSNER, HOW JUDGES THINK 105 (1997). 6

7 relationship of cited cases to the legal and factual circumstances in the cases they are deciding. While legal scholars have understood this idea since time immemorial, social scientists have only recent begun to understand that one of the most pressing needs in the study of the Court is a refined understanding of how law develops. 20 Consequently, even if justices use of citations is post hoc (an argument we critique below), citations would still matter because they offer information on the state of the law. A. Citations as Determinant of Decisions The view that citations are the determinant of Court decisions reflects the traditional legal model of decisionmaking. 21 Lawyers and judges have long taken it for granted that precedent both does and should play a frequently decisive role in constitutional adjudication. 22 This model means that decisions are grounded in legal reasoning that can generate outcomes in controversial disputes independent of the political or economic ideology of the judge. 23 As Chief Justice Marshall prominently declared: Courts are the mere instruments of the law, and can will nothing. 24 In general, judicial opinions are written as if very many cases were dictated by clear rules or principles. 25 In this vision, precedent provides the primary reason why justices make the decisions that they do. 26 Justices examine the legal authorities cited by the parties, which substantially include precedents, and render the decision that is dictated by those authorities. It is 20 Epstein and Knight, supra note 000, at 1021 write that: analyses of courts ought to center on the law that is established by judicial decisions. Hansford and Spriggs, supra note 000, at 15 state that scholars need to confront the most important question facing judicial scholars: What explains the development of law? See Tiller and Cross, What is Legal Doctrine? 100 NW. U. L. REV. 517, at 523 (2006) ( While one cannot dispute the practical significance of outcomes, a decision to ignore opinions misses the law. ) 21 For a general review of this legal model, see Frank B. Cross, Political Science and the New Legal Realism: A Case of Unfortunate Interdisciplinary Ignorance, 92 NW. U. L. REV (1997). 22 Richard H. Fallon, Jr., Constitutional Precedent Viewed Through the Lens of Hartian Positive Jurisprudence, 86 N.C. L. REV. 1107, 1107 (2008) Philip E. Johnson, Do You Sincerely Want To Be Radical?, 36 STAN. L. REV. 247, 252 (1984). Osborn v. Bank of United States, 22 U.S. 738, 866 (1824). Scot Altman, Beyond Candor, 89 MICH. L. REV. 296, 325 (1990). The Norm of Stare Decisis, supra note 000, at

8 said that [r]espect for precedent and principled decision making are central to Supreme Court decision-making. 27 One would expect reliance on precedent would be weakest at the level of the Supreme Court, which has no controlling vertical precedent and the legal authority to reconsider and reverse its prior horizontal precedents, combined with the fact that it reviews only the most difficult cases. One might question why an independent Supreme Court would ever choose to let the decisions of past judges, as precedents, dictate its current decisions. The justices have ample power to effect their own preferences by overruling or evading prior decisions. Although lower court judges may adhere to precedent out of a concern for higher court reversal, this fear obviously does not operate at the Supreme Court level. Various theories have been propounded, though, for why the Court would attend to the principles of stare decisis. 1. Theories Explaining Stare Decisis Multiple theories have been advanced for why courts would adhere to stare decisis. One is that the reliance on precedents is easier for the justices than re-analyzing each case independently. Precedents are readily available information provided by prior judges, which reduce[] individual workload and increase[] leisure time. 28 A precedent serves to economise on the costs of decision-making. 29 Judge Posner argued that this explains reliance on 27 Ronald Kahn, Interpretive Norms and Supreme Court Decision Making: The Rehnquist Court on Privacy and Religion, IN SUPREME COURT DECISION MAKING: NEW INSTITUTIONALIST APPROACHES 175 (Cornell Clayton & Howard Gillman, eds. 1999). 28 Sophie Harnay & Alain Marciano, Judicial Conformity Versus Dissidence: An Economic Analysis of Judicial Precedent, 23 INT L REV. LAW ECON. 405, 408 (2003). See also Jonathan Macey, Precedent in THE NEW PALGRAVE DICTIONARY OF LAW AND ECONOMICS 78 (1998) (suggesting that precedent enables judges to avoid having to rethink the merits of particular legal doctrine ). 29 Sophie Harnay & Alain Marciano, Judicial Conformity versus Dissidence: An Economic Analysis of Judicial Precedent, 23 INT L REV. LAW ECON. 405 (2003). 8

9 precedent. 30 Justice Stevens has argued that among the special benefits provided to judges by stare decisis is making their work easier. 31 Another theory suggests that even the most willful judge is likely to follow precedent to some extent, for if he did not the practice of decision according to precedent... would be undermined and the precedential significance of his own decisions thereby reduced. 32 This theory does not predict perfect adherence to precedent as a determinant, though, as judges can engage in some shirking without undermining the general practice of stare decisis, especially judges on the highest court. The hypothesis, thus, is not that precedent is always adhered to, but that decision according to precedent will often constituted rational self-interested behavior of judges who personally disagree with the precedent in question. 33 The theory has been explicated as a maximizing principle of game theory. 34 Reinforcing the theory is a model suggesting that judges care about their standing and influence with other judges, and adherence to precedent is commonly the best approach to promote this effect. 35 While this theory falls short of claiming that precedent is an overriding determinant of decisions, it seeks to explain its influence. Yet another, commonly overlooked, theory is that justices affirmatively value decisionmaking according to law. In this approach, justices gain utility from fulfilling their role 30 RICHARD A. POSNER, OVERCOMING LAW 141 (1995). See also Empirically Testing Dworkin s Chain Novel Theory, supra note 000, at 1165 (declaring that the justices interest in their own leisure time may also result in more frequent reliance on precedent ). 31 John Paul Stevens, The Life Span of a Judge-Made Rule, 58 N.Y.U. L. REV. 1, 4 (1983). See also Emerson H. Tiller & Frank B. Cross, What Is Legal Doctrine?, 100 NW. U. L. REV. 517, 530 (2006) (referring to the decision cost efficiencies resulting from the decision heuristics that legal doctrine presents ). 32 William N. Landes & Richard A. Posner, Legal Precedent: A Theoretical and Empirical Analysis, 19 J. LAW. ECON. 249, 273 (1976). 33 Id. 34 See Erin O Hara, Social Constraint or Implicit Collusion?: Toward a Game Theoretic Analysis of Stare Decisis, 24 SETON HALL L. REV. 736, (1993) (explaining how judges agree to follow each other s precedents to avoid nonproductive competition); Eric Rasmussen, Judicial Legitimacy as a Repeated Game, 10 J.L. ECON. & ORG. 63, 67 (1994) (arguing that stare decisis enhances judges power vis-à-vis future judges). 35 Sophie Harnay & Alain Marciano, Judicial Conformity Versus Dissidence: An Economic Analysis of Judicial Precedent, 23 INT L REV. LAW ECON. 405 (2003). 9

10 and deciding according to law. 36 Judges are commonly deemed to have a duty to decide according to precedent. While some social scientists may be skeptical of the power of such a duty to drive decisions contrary to preferences, such a duty may appear as a norm to which individuals strive to conform. Existing research indicates that judges role orientations were strongly professional, much more professional, in fact, than political. 37 These roles serve as norms of behavior which constrain the activities of the role occupant. 38 Judges are socialized to make decisions according to law, as in stare decisis. 39 Social scientists too blithely dismiss the possibility that judges might desire to enforce the law. 40 This role perception means that judges may gain satisfaction by interpreting the law as well as they can. 41 Judges may derive utility from legal procedures as well as from policy outcomes. 42 Even the legal realist Karl Llewellyn suggested that the force of precedent in the law is 36 See, e.g., LAWRENCE BAUM, THE PUZZLE OF JUDICIAL BEHAVIOR 61 (1997) (indicating that it pleases judges to carry out what they perceive as the judge s role ). He argues that ideological preferences are constrained because decision makers want to reach results that they can accept as correct ); Tracey E. George, From Judge to Justice: Social Background Theory and the Supreme Court, 86 N.C. L. REV. 1333, (2008) (discussing this role theory and its influence on judges). 37 Private Justice and the Federal Bench, supra note 000, at James Gibson, Judges Role Orientations, Attitudes and Decisions, 72 AM POL. SCI. REV. 911, 917 (1978) 39 See Stefanie A. Lindquist & David E. Klein, The Influence of Jurisprudential Considerations on Supreme Court Decisionmaking: A Study of Conflict Cases, 40 LAW & SOC Y REV. 135, 137(2006). See also What Is Legal Doctrine?, supra note 000, at 530 (discussing how the internalization of legal model preferences comes from the socialization of judges through law school training, clerkships, law practice, and fellowship with other judges ); Madeline Fleisher, Judicial Decision Making under the Microscope: Moving Beyond Politics Versus Precedent, 60 RUTGERS L. REV. 919, 955 (2008) (noting the possibility that judges, inculcated with professional norms regarding legal process, place objective value on the act of reaching an outcome through legal reasoning based on the application of precedent ). 40 FRANK B. CROSS, DECISION MAKING IN THE U.S. COURTS OF APPEALS 45 (2007). See also Stephen J. Choi and Mitu Gulati, Ranking Judges According to Citation Bias (As a Means to Reduce Bias, 82 NOTRE DAME L. REV. 1279, 1282 (2007) (suggesting that judges care about fulfilling their roles as neutral decisionmakers ). 41 LAWRENCE BAUM, JUDGES AND THEIR AUDIENCES 10 (2006). 42 Linda R. Cohen & Matthew L. Spitzer, Solving the Chevron Puzzle, 57 LAW & CONTEMP. PROBS. 65, 71 (1994). 10

11 heightened by that curious, almost universal sense of justice which urges that all men are properly to be treated alike in like circumstances. 43 Some argue judges are likely to take the rule of law quite seriously, as it is part of their set of role expectations their institutionally induced beliefs about the way they should carry out their official functions. 44 Some have attributed this to a role theory instilled in judges to follow the law. Kathleen Sullivan argues that [m]ost judges hold deeply internalized role constraints and believe that judgment is not politics. 45 Reliance on precedent has some intrinsic appeal to judges. 46 Because of this, there may be an ingrained norm or practice of attending to the legal commands placed on the justices. 47 Because of the justices senses of duty or their legal preferences, they might adhere to a precedent that they dislike. These rationales for the legal model are purely theoretical, though, rather than proved through evidence. Moreover, the explanations generally do not dictate that precedent is the sole determinant of decisions, as the justices may have additional factors influencing their decisions. The theory of protecting the general rule of stare decisis admits of the possibility of shirking, and if it is a utility-enhancing preference, that conclusion does not rule out other sources of utility that might override the legal model preference. Consequently, the theories require empirical examination. 2. Preliminary Evidence on the Legal Role of Stare Decisis 43 Karl Llewellyn, Case Law in 3 ENCYC. SOC. SCI. 249 (1930), quoted in The Authority of Authority, supra note 000, at Edward Rubin & Malcolm Feeley, Creating Legal Doctrine, 69 S.CAL. L. REV. 1989, 2026 (1996). The authors elsewhere acknowledge that judges sometimes render decisions based on their sense of the best public policy. MALCOLM M. FEELEY & EDWARD L. RUBIN, JUDICIAL POLICY MAKING AND THE MODERN STATE 11 (1998). However, they argue that these choices are nevertheless constrained by doctrine and other institutions. Id. at Kathleen M. Sullivan, Foreword: The Justices of Rules and Standards, 106 HARV. L. REV. 22, 120 (1992). 46 Empirically Testing Dworkin s Chain Novel Theory, supra note 000, at See Constitutional Precedent Viewed Through the Lens of Hartian Positivist Jurisprudence, supra note 000, at

12 There is anecdotal evidence of the role of stare decisis in at least some decisions. Justice O Connor has disagreed with the Court s statutory interpretation in a case but accepted it for reasons of stare decisis. 48 Woodward and Armstrong describe how Chief Justice Burger s efforts to undo certain holdings of the Warren Court were obstructed by even his conservative colleagues, due to their concern for precedent. 49 Various opinions say something on the order of: Although I personally disagree with the outcome, I feel bound When declining to overrule Roe in Planned Parenthood v. Casey, Justices O Connor, Kennedy, and Souter s plurality opinion stressed that respect for precedent was essential to the very concept of the rule of law. 51 Judge Newman contended that the accepted body of law... exerts a profoundly restrictive effect upon the outcome of most legal confrontations. 52 While this theory of precedent governing decisions is often expressed, the pure legal model of Supreme Court decisionmaking has been amply debunked by empirical research and what is generally known as the attitudinal model of decisionmaking. Jeffrey Segal and Harold Spaeth produced the seminal research demonstrating that the justices voted in accord with their ideology, which they called the attitudinal model. 53 They claimed that precedent as a legal model provides no guide to the justices decisions. 54 The authors embarked on a statistical analysis in which they found that the justices decisions could often be predicted by their ideology. 55 They found that ideology could explain 76% of the variance in justice votes. 56 This Allied-Bruce Terminix Cos. V. Dobson, 513 U.S. 265, (1995). BOB WOODWARD & SCOTT ARMSTRONG, THE BRETHREN 76 (1979). Beyond Candor, supra note 000, at 315 (referencing cases making such statements). 505 U.S. 833, 854 (1992). 52 Jon O. Newman, Between Legal Realism and Neutral Principles: The Legitimacy of Institutional Values, 72 CAL. L. REV. 802, 817 (1982). 53 JEFFREY A. SEGAL & HAROLD J. SPAETH, THE SUPREME COURT AND THE ATTITUDINAL MODEL (1993). JEFFREY A. SEGAL & HAROLD J. SPAETH, THE SUPREME COURT AND THE ATTITUDINAL MODEL REVISITED (2002) Id. at 48. Id. at See THE SUPREME COURT AND THE ATTITUDINAL MODEL REVISITED, supra note 000, at

13 finding was generally confirmed by a prospective study finding that political science models were equal to or superior to legal expert predictions of the outcomes of forthcoming cases. 57 Many have built on Segal and Spaeth s evidence and the evidence of attitudinal influences has accumulated steadily over the years, [while] evidence of legal influences has been much harder to find. 58 Scores of additional studies have confirmed the ideological influence on decisionmaking. 59 A meta-analysis of much of this research confirmed the significance of ideology, which was particularly pronounced at the Supreme Court level. 60 A professor of law has recently examined the question from a different angle, comparing Supreme Court justice votes in criminal cases and segregating them into statutory and constitutional claims. 61 Because the legal issues and precedents for the two sets of cases were so different, they serve as a test for the influence of the law. In practice, the author found that the justices voted for criminal defendants in essentially the same percentages, regardless of the legal grounds of the claim, suggesting that ideology was a driver of outcomes rather than governing legal materials. Considerable research has demonstrated that ideology exercises a profound influence on judicial decisionmaking. Hence, the traditional legal model of citations as a pure determinant of 57 See Theodore W. Ruger, et al., The Supreme Court Forecasting Project: Legal and Political Science Approaches to Predicting Supreme Court Decisionmaking, 104 COLUM L. REV (2004). 58 The Influence of Jurisprudential Considerations on Supreme Court Decisionmaking: A Study of Conflict Cases, supra note 000, at 136. This legal state of mind does not necessarily mean obedience to conspicuous rules; instead, it means a sense of obligation to make the best decision possible in light of one s general training and sense of professional obligation. Howard Gillman, What s Law Got to Do with It? Judicial Behavioralists Test the Legal Model of Judicial Decision Making, 26 LAW & SOC. INQ. 465, 486 (2001). 59 Emerson H. Tiller & Frank B. Cross, What Is Legal Doctrine?, 100 NW. U. L. REV. 517, 523 (2006). Empirical studies consistently demonstrate the role of the Justices policy preferences on all aspects of the Court s decisional process, and indeed, demonstrate that ideology generally has a larger substantive effect than any other examined variable. Nonetheless, according to many the attitudinal model is innacurate in its main theoretical claim that ideology is the only systematic influence on Court outcomes. Timothy Johnson, James F. Spriggs II, and Paul J. Wahlbeck, Oral Advocacy Before the United States Supreme Court 85 LWash. U. L. Rev. 457, at 525 (2007). (showing that the Justices final votes on the merits depend heavily on the relative quality of the litigants oral arguments). 60 See Daniel R. Pinello, Linking Party to Judicial Ideology in American Courts: A Meta-Analysis, 20 JUST. SYS. J. 219 (1999). 61 Ward Farnsworth, Signatures of Ideology: The Case of the Supreme Court s Criminal Docket, 104 MICH. L. REV. 67 (2005). 13

14 Court decisions is difficult to sustain in light of the empirical evidence. 62 The justices are reaching very different conclusions in cases with identical precedents. This is not simply a matter of uncertainty about the correct application of precedent, because those differences operate in systematic ways, depending on the ideology of the justice. Some have leapt to the conclusion that citations are meaningless as determinants of decisions, maintaining that decisions are purely ideological. B. Citations as a Mask The Segal and Spaeth findings on ideological voting have led to the theory that citations serve only as a mask for justices voting their preferences. In this view the justices base their decisions solely upon personal policy preferences, 63 and legal considerations... play essentially no role in the Court s decisions. 64 The attitudinal view is that the law boils down to outcomes and that whatever rationales or justifications judges invoke are mere smokescreens designed to hide the fact that politics drives the result. 65 This is the classical legal realist position on Supreme Court decisionmaking and not unique to political scientists. Henry Monaghan spoke of precedent as a mask hiding other 62 Even without the empirical research, these models of judicial decisionmaking were never seen as accurate descriptions of the reality of the process. See, e.g., Oliver Wendell Holmes, The Path of the Law, 10 HARV. L. REV. 457, (1897) (noting that [b]ehind the logical form lies a judgment as to the relative worth of competing legislative grounds... You can give any conclusion a logical basis ); The Authority of Authority, supra note 000, at 623 (addressing the now generally conceded facts that rules mean little except in application, that the manner of application depends on current feelings about society, economics, politics, etc., and that the subjective factors in selecting, formulating, and applying legal rules in the judicial process are very great ). 63 (1976). DAVID W. ROHDE & HAROLD J. SPAETH, SUPREME COURT DECISION MAKING Lawrence Baum, The Critics: The Supreme Court and the Attitudinal Model, 4 LAW AND COURTS 1,3 (1994). See also Barry Friedman, Taking Law Seriously, 4 PERSP. POL. 261, 265 (2006) (noting that some political scientists conclude that law is a chimera, a fig leaf covering up a system of complete indeterminacy, nothing but a set of words used to justify any conclusion ). 65 Lee Epstein, et al, Judging Statutes: Thoughts on Statutory Interpretation and Notes for a Project on the Internal Revenue Code, 13 WASH. U. J.L. & POL Y 305, 320 (2003). 14

15 considerations. 66 Alexander Bickel complained that too many federal judges have been induced to view themselves as holding roving commissions as problem solvers. 67 Justice Jackson candidly conceded that [m]any of our cases really turn on your views of political policy. 68 Many other commentators have echoed this skepticism about the role that precedent plays at the Court. It is sometimes said that any law student knows that virtually any judicial decision can be analogized to or distinguished from any other fact pattern. 69 Cass Sunstein suggested that all cases were potentially distinguishable for justices. 70 Frederick Schauer declared that it will always be possible to distinguish a precedent. 71 Judge Wald has noted how judges can ignore or distinguish away precedents they don t like and follow those precedents which they like best. 72 Michael Stokes Paulsen suggested that stare decisis is a doctrine of convenience, endlessly pliable, followed only when desired, and almost always invoked as a makeweight. 73 There appears to be an inherent tendency of judges to manipulate the 74 doctrine politically. Under this theory, precedent in practice is infinitely manipulable 66 Henry Paul Monaghan, Stare Decisis and Constitutional Adjudication, 88 COLUM. L. REV. 723, 743 (1988). 67 (1970). ALEXANDER M. BICKEL, THE SUPREME COURT AND THE IDEA OF PROGRESS Dennis J. Hutchinson, The (Philip B. Kurland et al., eds. 1989). Black-Jackson Feud, in THE SUPREME COURT REVIEW Earl Maltz, The Nature of Precedent, 66 N.C. L. REV. 367, (1988) Cass R. Sunstein, LEGAL REASONING AND POLITICAL CONFLICT 72 (1996). Frederick Schauer, Precedent, 39 STAN. L. REV. 571, 594 (1987). 72 Patricia M. Wald, Changing Course: The Use of Precedent in the District of Columbia Circuit, 34 CLEVE. ST. L. REV. 477, 481 (1986). 73 See Michael Stokes Paulsen, Does the Supreme Court s Current Doctrine of Stare Decisis Require Adherence to the Supreme Court s Current Doctrine of Stare Decisis?, 86 N.C. L. REV. 1165, (2008). 74 Christopher P. Banks, Reversals of Precedent and Judicial Policy-Making: How Judicial Conceptions of Stare Decisis in the U.S. Supreme Court Influence Social Change, 32 AKRON L. REV. 233, 235 (1999). 15

16 and hence meaningless as a determinant of judicial outcomes. 75 Although it is generally not claimed that precedents are infinitely indeterminate, they need be only sufficiently indeterminate that they can be manipulated to reach different outcomes in the cases selected for review by the Court. In this vision, the justices first choose their preferred outcome, based on ideological or other considerations, and then seek out precedents to cite in support of that outcome. This theory leads to the obvious question of why the justices would expend the time and effort to produce opinions with supporting citations, rather than simply pronouncing their decision. The common answer given by the legal realists is that such citations are necessary to legitimate the Court s holding. The theory is that the public and other constituencies of the Court respect and adhere to decisions grounded in the law but not those based on the justices ideologies. 76 Hence, the Court employs citations to create the appearance that their decisions are based on the law, though this is not truly the case. The citations serve only as a mask for the true ideological basis for the decision. This is the historic view that judges first arrive at their desired conclusion and only then develop a legal rationale that buttresses their decision This theory apparently implies considerable insincerity on the part of the justices. Even when the implications of precedents are somewhat indeterminate, some arguments are more persuasive than others and the justices may make good faith efforts to discovery which answers are most accurate. PAUL M. COLLINS JR., FRIENDS OF THE SUPREME COURT: INTEREST GROUPS AND JUDICIAL DECISION MAKING 83 (2008). The advocates of ideological attitudinal decisionmaking do not proclaim that the justices are insincere or dishonest but suggest that their ideological decisions may simply be the product of motivated reasoning, a subconscious evaluation of the precedents that contains an ideological bias. THE SUPREME COURT AND THE ATTITUDINAL MODEL REVISITED, supra note 000, at 433. See also Judicial Decision Making under the Microscope, supra note 000, at 965 (suggesting that motivated reasoning explains findings of ideological decisionmaking, as judges are simply more receptive to the elements of a decision that mesh with their own beliefs ). However, even motivated reasoning places boundaries on the effects of ideology and provides some role for legal influence. See LAWRENCE S. WRIGHTSMAN, JUDICIAL DECISION MAKING 56 (1999) (noting that psychological effect of motivated reasoning has limits in its power). 76 See The Authority of Authority, supra note 000, at 625, observing: A feeling probably exists that even though judges actually make law and are not tightly bound by previous decisions it is desirable to give society a picture of the judicial process which conforms with the fiction of an abstract law which is mechanically applied by its instrument, the judge. 77 (1997). Paul J. Wahlbeck, The Life of the Law: Judicial Politics and Legal Change, 59 J. POL. 778,

17 Segal and Spaeth have sought to directly examine these effects. 78 They examined a set of Supreme Court precedents that included dissenting opinions and identified the progeny of those decisions. 79 The authors then considered whether justices who dissented in the original decision adhered to the precedent from which they dissented or continued to reject it. They found that only around twelve percent of the justices chose to adhere to the earlier precedent rather than follow their personal preferences. 80 This direct study of precedent suggested that citations were but a mask for ideology. The Segal and Spaeth results saw various challenges. For example, they did not include summary dispositions of the court, which might represent the clear cases governed by precedent, where its power would most powerfully appear. When these summary dispositions were included, the justices voted in favor of precedent, rather than preferences, about three-fourths of the time. 81 Others questioned the coding of the subsequent votes. For Segal and Spaeth, a subsequent decision that limited the scope of the original precedent was regarded as attitudinal, not precedential. However, this created an intrinsic bias in the study, and a decision declining to extend a precedent is in no way contrary to stare decisis. 82 Insofar as the progeny cases addressed issues unresolved by the landmark precedent, the study tells little about the power of precedent. 83 Indeed, a reexamination of the cases found that in most of the progeny, the Court s opinion This research was originally published as Jeffrey A. Segal & Harold J. Spaeth, The Influence of Stare Decisis on the Votes of United States Supreme Court Justices, 40 AM. J. POL. SCI. 971 (1996) and subsequently, in more detail, as HAROLD J. SPAETH & JEFFREY A. SEGAL, MAJORITY RULE OR MINORITY WILL (1999) For a description of the particular methodology, see id. at Id. at Donald R. Songer & Stefanie A. Lindquist, Not the Whole Story: The Impact of Justices Values on Supreme Court Decision Making, 40 AM. J. POL. SCI (1996). The inclusion of these cases is debatable, as they rarely provoke the sorts of dissents that would evidence continued disavowal of the original opinion, but the justices certainly had the power to so dissent and did not. 82 Chief Justice Roberts and Precedent: A Preliminary Study, supra note 000, at 1261 (observing that a continued dissent need not represent any sort of repudiation of the precedent, but may simply demonstrate a reluctance to expand its scope beyond that set out in the original holding ). 83 See Taking Law Seriously, supra note 000, at 267 (explaining how progeny decisions are not necessarily contrary to the holding in the underlying precedent, even when they are coded as opposite in direction ). 17

18 explicitly reaffirms the doctrine announced in the landmark case. 84 Although the study might show that citations were not a perfect determinant of outcomes, nor were they but a mask, as they limited the justices discretion and channeled their outcomes. Others have used a similar approach to study precedent and reached conclusions different from those of Segal and Spaeth. One recent analysis modified the Segal and Spaeth approach to measure newly appointed justices decisions in progeny cases (those who did not participate in the original decision), when their ideological beliefs would appear to call for a deviation from the precedent set in the initial landmark opinion. The study concluded that the landmark precedent had a powerful effect on the new justices decisions. 85 Even if it were true that precedents did not alter the decisions of dissenting justices in the original opinion, the far more significant effect of precedent would be that on future justices. A more serious failing of the Segal and Spaeth study could be the failure to consider possible effects of precedent on the Court s agenda and litigation environment. 86 The landmark precedent shapes the progeny that the Court accepts for review, and it has no reason to take certiorari on cases directly governed by the precedential decision. 87 Thus, the Court simply may decline review in those cases in which it faces constraint; if so, such constraint never would show up in studies that look only to granted cases, though it would remain a powerful legal determinant. 88 The findings of the study on precedent merely reveal a substantial ideological determinant of decisions whether to expand or limit a precedent, not any finding on the precedent s validity for cases plainly within its ambit. Nor do they address the potential constraint or influence of such prior decisions on the contents of the subsequent opinion. 84 Id. at Linda M. Merola, The Influence of Stare Decisis on the Votes of United Supreme Court Justices: A Second Look, presented at the 2006 annual meeting of the Midwest Political Science Association. 86 What s Law Got To Do with It?, supra note 000, at Chief Justice Roberts and Precedent: A Preliminary Study, supra note 000, at (observing that the landmark precedent itself may shape which progeny cases reach the court, such that looking at decisions in progeny cases [taken by the Court] simply does not test whether a governing precedent would control the justices votes ). Empirical precedent indicates that the certiorari decision is not centrally an ideological one but is apparently driven by other factors, such as clarity of the governing law. Saul Brenner, Joseph M. Whitmeyer, & Harold J. Spaeth, The Outcome-Prediction Strategy in Cases Denied Certiorari by the U.S. Supreme Court, 130 PUB. CHOICE 225 (2007). 88 Taking Law Seriously, supra note 000, at

19 The legal realists nonetheless have contended that prior cases have no effect on new decisions and that the citation of authority is a pure charade. 89 They make the argument that there are so many precedents available to the Court, supporting both petitioner and respondent, that it is easy for willful justices to find precedential support for any decision they might prefer. 90 The briefs for both the petitioner and respondent will certainly cite numerous precedents that at least purportedly support their differing positions on the proper case outcome. This illustrates that at least some precedents can be found to support either side of the case. Jack Balkin suggests that the materials of the law already contain justifications supporting every variety of liberal and conservative positions, and consequently can be manipulated for ideological purposes. 91 Segal and Spaeth argue that if various aspects of the legal model can support either side of any given dispute that comes before the Court, then the legal model hardly satisfies as an explanation of Supreme Court decisions. 92 Some argue that judges decide for themselves whether to be bound by precedent, given their ability to make fine distinctions about fact patterns and to engage in other acts of creative judging. 93 The Segal and Spaeth results, and some other studies finding ideological judicial decisionmaking, would seem to provide support for the theory that citations serve only as a mask. However, they fall well short of proving this case. For example, the research considers only the 89 Peter Harris. Difficult Cases and the Display of Authority, 1, J. LAW ECON. ORG. 209, 211 (1985). See also Jeffrey A. Segal & Harold J. Spaeth, THE SUPREME COURT AND THE ATTITUDINAL MODEL REVISITED 85 (2002) (referring to the phony world of precedent ). 90 Thus, the claim that the Supreme Court has generated so much precedent that it is usually possible to find support for any conclusion. LEE EPSTEIN & THOMAS G. WALKER, CONSTITUTIONAL LAW FOR A CHANGING AMERICA: RIGHTS, LIBERTIES, AND JUSTICE 21(1995). Even traditional legal scholars have recognized this principle, acknowledging that stare decisis presents choice of precedents. HENRY J. ABRAHAM, THE JUDICIAL PROCESS 325 (6 th ed. 1993). 91 Jerome M. Balkin, Taking Ideology Seriously: Ronald Dworkin and the CLS Critique, 55 UMKC L. REV. 392, 427 (1987). See also Mark Tushnet, Following the Rules Laid Down: A Critique of Interpretivism and Neutral Principles, 96 HARV. L. REV. 781, 795 (1983) (arguing that reasonable legal arguments can be found for virtually any result in court). However, some contend that while legal rules allow for more than one legally plausible outcome,... usually one outcome can be ranked as more legally compelling or defensible than the others. BRIAN Z. TAMANAHA, LAW AS A MEANS TO AN END: THREAT TO THE RULE OF LAW 242 (2006) THE SUPREME COURT AND THE ATTITUDINAL MODEL, supra note 000, at 65. The Internal and External Costs and Benefits of Stare Decisis, supra note 000, at